Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27)
Unchanged
20
1337
0
Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30)
Unchanged
7
665
0
Broker-dealer SBSDs only: Paragraph (a)(29)
Unchanged
6
190
0
17a-3(a)(35) Record of Oral Disclosure
Unchanged
92041128
1840823
0
Ongoing cost for equipment & systems development
Unchanged
49
0
72322796
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer
Unchanged
2593
1297
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers
Unchanged
1455
970
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers
Unchanged
1138
0
565586
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden
Unchanged
177000773
2360004
0
Rule 17a-3(a)(12, 19)
Unchanged
3528
1764
0
Rule 17a-3(a)(16)
Unchanged
200
5400
0
Rule 17a-3(a)(17) - providing updated information to customers
Unchanged
78271425
0
32091284
Rule 17a-3(a)(17)(i)(B(1) - Small BD
Unchanged
579775
67642
0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD
Unchanged
202926
33821
0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD
Unchanged
57399041
1434976
0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD
Unchanged
20089666
1674139
0
Rule 17a-3(a)(20-22)
Unchanged
3528
588
0
Rule 17a-3(a)(23) Part I
Unchanged
512
17067
341333
Rule 17a-3(a)(23) Part II
Unchanged
512
23040
0
Rule 17a-3(a)(36)
New
2575
47380
0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Unchanged
3528
878472
0
Total burden requested under this ICR:
425604385
8389575
105320999
To view an IC, click on IC Title